Wealth Management Compliance, Assistant Vice President - Corporate- Operations

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Jefferies
  • 24 Apr 19

Wealth Management Compliance, Assistant Vice President - Corporate- Operations

Jefferies, the global investment banking firm, has served companies and investors for over 50 years. Headquartered in New York, with offices in over 30 cities around the world, the firm provides clients with capital markets and financial advisory services, institutional brokerage and securities research, as well as wealth and asset management. The firm provides a full range of investment banking services including underwriting, mergers and acquisitions, restructuring and recapitalization, and other advisory services across the Americas, Europe and Asia. Jefferies is a wholly-owned subsidiary of Jefferies Financial Group (NYSE: JEF), a diversified holding company.

The role will report to the head of Equities compliance, who has oversight of Jefferies Private Wealth Management (JPWM).

Primary Responsibilities:
· Responsible for supporting the JPWM business, including: daily and periodic monitoring of AE activity; assist in policy creation, drafting and implementation that is relevant to JPWM; track regulatory developments effecting relevant businesses; assist in designing and implementing compliance training program
· Assist with broader projects and initiatives impacting the overall JPWM platform

Required Background:

  • Minimum 4 years of compliance experience with at least 2 years of experience directly supporting a wealth management business
  • Series 7/24/63 qualifications a plus